SEC Form 4 · accession 0001209191-17-045348
MAXWELL TECHNOLOGIES INC · MXWL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ilya Golubovich
Director
Period of report
Jul 13, 2017
Accepted (ET)
Jul 17, 2017 · 4:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000319815
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | $0.00 | Jul 13, 2017 | A | 14,505 | A | — | — | Common Stock | 14,505 | 14,505 | D |
| Stock Option (Right to Buy)F4 | $5.86 | Jul 13, 2017 | A | 5,000 | A | — | Jul 13, 2027 | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1Each restricted stock unit (RSU) represents a right to receive one share of the Issuer's common stock.
- F2The RSUs vest in full on May 20, 2018 as long as the holder remains in service to the Company. Vested shares will be delivered to the reporting person on the earlier of February 20, 2020, termination of the reporting person's service to the Company, the reporting person's death or a change in control of the Company.
- F3These units do not expire.
- F4Option becomes exercisable on May 20, 2018 as long as holder remains in service to the Company.